Adam Herman
Investment Adviser Representative at Global Wealth Strategies AND Associates, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Adam Herman is an investment adviser representative with Global Wealth Strategies and Associates, LLC in Denver, CO, where they have been registered since 2021. They have worked in the securities industry since 2020 and were previously registered with MML Investors Services, LLC. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Colorado.
Office
Advisors at this office: 8
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Colorado
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Massmutual LIFE Insurance CompanyJul 2019 – Aug 2021Denver, CO
- MML Investors Services, LLCJul 2019 – Aug 2021Springfield, MA
- Goodway Group Holdings, Inc.Feb 2019 – Jul 2023Denver, CO
- Centro Media, Inc.Nov 2013 – Feb 2019Denver, CO
- Global Wealth Strategies AND Associates, LLCNov 2021 – no end date reportedDenver, CO
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Global Wealth Strategies AND Associates, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Advisory Services
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 11
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Denver, CO
- SEC file number:
- 801-122556
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of May 25, 2026
View full firm profileOther advisors at Global Wealth Strategies AND Associates, LLC
10 other advisors in the directory
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Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Adam Herman has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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